Waters Capital Advisers, LLC (Denver)

Name: Waters Capital Advisers, LLC
Address: Key Bank Building, Denver, CO, 80206
Telephone: 303-333-7779

Waters Capital Advisers, LLC is an adviser based in Denver. It manages $19 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Colorado and Nebraska.

Waters Capital Advisers provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Waters Capital Advisers: assets under management

The assets under management (AUM) of Waters Capital Advisers, LLC is $19 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -64% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $19 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $19 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Waters Capital Advisers, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Waters Capital Advisers, LLC

James Joseph Waters has been acting as President since 1 Jan 2002. Westmoore Investment Lp joined the executive team most recently as the Owner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Joseph Waters	President	1 Jan 2002	75% - 100%	459785
James Joseph Waters	Chief compliance officer	1 Oct 2004	75% - 100%	459785
Inc. Mka Capital Group Advisors	Shareholder	1 Apr 2006	25% - 50%	54-2165363
Westmoore Investment Lp	Owner	1 Jan 2008	75% - 100%	33-0888477

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Matthew Ray Jennings	Chief executive officer	1 Jul 1998	50% - 75%	2362486
Robert Lee Jennings	Secretary	1 Jul 1998	50% - 75%	2455552
Inc. Westmoore Partners	General partner	1 Jan 2000	Other	33-0823519
Michael Anthony Abraham	Chief executive officer	1 Dec 2004	50% - 75%	736574
Jason Adam Sugarman	President	1 Dec 2004	50% - 75%	4194988

Based in Denver

The principal office where Waters Capital Advisers, LLC performs its advisory services is located at Key Bank Building, Denver, CO 80206, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-333-7779 or by fax 303-468-0202. The normal business hours are 8:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at www.sonatafunds.com.